KO
Kathleen P. Oberneder
FOREFRONT
Mequon, WI
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CRD#: 4385405
KO
Professional summary
Kathleen Patricia Oberneder, who also goes by Kathleen Patricia Feeney, is a registered financial advisor currently at FOREFRONT located in Mequon, Wisconsin and CALTON & ASSOCIATES, INC. located in Mequon, Wisconsin.
Kathleen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Kathleen has worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kathleen Patricia Feeney
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Independent Housing Initiative, Inc. Non-investment related. 11711 N. Solar Ave, Mequon, WI 53097. Treasurer for a non-profit - a group of families trying to create a supported housing community for their adult children with special needs. Officer. Start date: 01/01/2024. Hours/month: 4. Hours/month during securities trading hours: 0. I assist with taking donations received and depositing into a savings account. I am also responsible for making sure the consultant who the group hire is paid. This involves getting a cashier's check from the bank and mailing it to him.
CRS (Client Relationship Summary) - RIA
Click below to view Kathleen Patricia Oberneder's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 19, 2024 - Present
FOREFRONT
RIA
CRD#: 308521
Mequon, WI
Current
January 19, 2024 - Present
CALTON & ASSOCIATES, INC.
RIA
BD
CRD#: 20999
Mequon, WI
Past
April 29, 2017 - November 17, 2023
J. W. COLE ADVISORS, INC.
RIA
CRD#: 112294
Cedarburg, WI
Past
April 29, 2017 - November 17, 2023
J.W. COLE FINANCIAL, INC.
BD
CRD#: 124583
Cedarburg, WI
Past
April 17, 2015 - May 16, 2017
LPL FINANCIAL LLC
RIA
CRD#: 6413
GRAFTON, WI
Past
November 25, 2014 - May 16, 2017
LPL FINANCIAL LLC
BD
CRD#: 6413
GRAFTON, WI
Past
May 23, 2012 - October 2, 2014
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MILWAUKEE, WI
Past
September 23, 2004 - June 3, 2010
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
MILWAUKEE, WI
Past
September 23, 2004 - June 3, 2010
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
MILWAUKEE, WI
Past
May 13, 2004 - August 31, 2004
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
AUSTIN, TX
Past
June 19, 2003 - February 11, 2004
OGILVIE SECURITY ADVISORS CORPORATION
BD
CRD#: 10105
CHICAGO, IL
Past
July 2, 2001 - May 5, 2003
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
DES MOINES, IA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
FO
FOREFRONT
CHALK MONEY | THE 401(K) ADVISOR | SUMMIT ADVISORS, LLC | PRINCIPATUS WEALTH | POINT2 CAPITAL PARTNERS | PACE FINANCIAL SERVICES | NAMA PRIVATE WEALTH | MOUNTAIN HIGH WEALTH MANAGEMENT | MINDFUL FINANCIAL PARTNERS | LEONE AND COMPANY WEALTH MANAGEMENT | FOUR LEAF FINANCIAL PLANNING | FOREFRONT WEALTH PARTNERS, LLC | FOREFRONT WEALTH PARTNERS | FOREFRONT ADVISOR NETWORK | FOREFRONT | COAST FINANCIAL
CRD#: 308521 / SEC#: 801-130608
RIA
Registered Investment Advisory firm - (7/5/2024 Approved)Alaska
Registered Investment Advisory firm - (10/15/2024 Terminated)California
Registered Investment Advisory firm - (8/21/2024 Terminated)Florida
Registered Investment Advisory firm - (7/22/2024 Terminated)Michigan
Registered Investment Advisory firm - (7/29/2024 Terminated)New Hampshire
Registered Investment Advisory firm - (7/26/2024 Terminated)Ohio
Registered Investment Advisory firm - (7/22/2024 Terminated)Pennsylvania
Registered Investment Advisory firm - (7/24/2024 Terminated)Texas
Registered Investment Advisory firm - (7/22/2024 Terminated)Virginia
Registered Investment Advisory firm - (7/23/2024 Terminated)Washington
Registered Investment Advisory firm - (8/26/2024 Terminated)Wisconsin
Registered Investment Advisory firm - (7/22/2024 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Hawaii(11/12/2024)
RR
South Carolina(1/19/2024)
RR
Wisconsin(1/19/2024)
IAR
Wisconsin(1/19/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FO
FOREFRONT
CHALK MONEY | THE 401(K) ADVISOR | SUMMIT ADVISORS, LLC | PRINCIPATUS WEALTH | POINT2 CAPITAL PARTNERS | PACE FINANCIAL SERVICES | NAMA PRIVATE WEALTH | MOUNTAIN HIGH WEALTH MANAGEMENT | MINDFUL FINANCIAL PARTNERS | LEONE AND COMPANY WEALTH MANAGEMENT | FOUR LEAF FINANCIAL PLANNING | FOREFRONT WEALTH PARTNERS, LLC | FOREFRONT WEALTH PARTNERS | FOREFRONT ADVISOR NETWORK | FOREFRONT | COAST FINANCIAL
CRD#: 308521 / SEC#: 801-130608
RIA
Registered Investment Advisory firm - (7/5/2024 Approved)Alaska
Registered Investment Advisory firm - (10/15/2024 Terminated)California
Registered Investment Advisory firm - (8/21/2024 Terminated)Florida
Registered Investment Advisory firm - (7/22/2024 Terminated)Michigan
Registered Investment Advisory firm - (7/29/2024 Terminated)New Hampshire
Registered Investment Advisory firm - (7/26/2024 Terminated)Ohio
Registered Investment Advisory firm - (7/22/2024 Terminated)Pennsylvania
Registered Investment Advisory firm - (7/24/2024 Terminated)Texas
Registered Investment Advisory firm - (7/22/2024 Terminated)Virginia
Registered Investment Advisory firm - (7/23/2024 Terminated)Washington
Registered Investment Advisory firm - (8/26/2024 Terminated)Wisconsin
Registered Investment Advisory firm - (7/22/2024 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
7500 Rialto Blvd, Bldg 1 Suite 250, Austin, TX 78735
Mailing Address
Phone number
(512) 617-1984
Established
Firm type
Fiscal year end
# of Employees
15
SEC notice filing (23 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,382 |
| AUM (Assets Under Management) | $ 239,835,320 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
